Head of Business Control & Governance, Private Wealth
About the Company
Globally-recognized investment management firm
Industry
Financial Services
Type
Public Company
Founded
1939
Employees
1001-5000
Categories
Specialties
Business Classifications
About the Role
The Company is in search of a Head of Business Control and Governance for its Private Wealth division. The successful candidate will be tasked with leading the development and maintenance of a robust control environment that aligns with regulatory requirements and business objectives. This strategic role involves overseeing operational processes, governance structures, and risk management practices to ensure client service excellence. The Head will also be responsible for designing and enhancing the in-business control environment, building a comprehensive process and procedure inventory, and managing business-wide governance routines. Collaboration with various functions, including Compliance, Risk, Legal, and Operations, is essential to uphold the highest standards of supervision and governance. Applicants must have a Bachelor's degree and at least 15 years' of experience in financial services, with a focus on business controls, risk management, audit, or compliance within a wealth management or private banking environment. A proven track record in leading control-related teams, strong project management skills, and the ability to design and implement governance routines are required. The role demands an individual with exceptional partnership and influencing skills, a deep understanding of RIA and Broker Dealer supervisory frameworks, and a client-obsessed, detail-oriented approach. The Head will also be expected to proactively monitor industry and regulatory developments, prepare reports for senior management, and ensure the timely resolution of control issues. A Series 24 license is preferred.
Hiring Manager Title
Head of Private Wealth Client Administration & Infrastructure
Travel Percent
Less than 10%
Functions
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